DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T•• I•••••• G••••• I•••

Former SEC-registered adviserSalt Lake City, UtahCRD 117936SEC 801-70424IAPD
Latest filing Jun 23, 2020
First filing on the tape Mar 8, 2012 · 30 filings
RAUM
$848M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
93%
$791M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$848M as of Feb 24, 2020
Mar 8, 2012$217M then
HNW client RAUM$735M as of Feb 24, 2020
Mar 21, 2018$566M then
State-registered IARs (5.B.3)8 as of Feb 24, 2020
Mar 8, 20120 then
Employees (5.A)8 as of Feb 24, 2020
Feb 21, 20137 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 8
Practice profile
derived from the filing of Jun 23, 2020; every figure names its basis
RAUM per advisor
$106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$478,663derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+60%derivedItem 5.B.3 between annual amendments
Client growth, one year
+26%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$735M87%
  • Individuals$56.3M6.6%
  • Pension and profit-sharing plans$52.0M6.1%
  • Charitable organizations$5.2M0.6%
Individual clients
108reported
HNW clients
251reported
Pension plan clients
41reported
Charitable clients
45reported
Accounts
1,772reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• M•••• R•••••••• · Vice Presidentcontrol
      since 03/1993 · owns 50% to 75%
    • S••••••••• P•••• W•••••• · Presidentcontrol
      since 03/1993 · owns 50% to 75%
    • S••••• S••••• N••••• · Chief Compliance Officer
      since 12/2005 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list T•• I•••••• G••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,580 to 1,772
      Nov 21, 2019 to Feb 24, 2020
    • Advisory employees · 5 to 8
      Nov 21, 2019 to Feb 24, 2020
    • Charity clients · 41 to 45
      Nov 21, 2019 to Feb 24, 2020
    • HNW clients · 178 to 251
      Nov 21, 2019 to Feb 24, 2020
    • Individual clients · 106 to 108
      Nov 21, 2019 to Feb 24, 2020
    • Pension plan clients · 43 to 41
      Nov 21, 2019 to Feb 24, 2020
    • Employees · 5 to 8
      Nov 21, 2019 to Feb 24, 2020
    • Insurance-licensed employees · 5 to 8
      Nov 21, 2019 to Feb 24, 2020
    • State-registered IARs · 5 to 8
      Nov 21, 2019 to Feb 24, 2020
    • Discretionary RAUM · $663M to $779M
      Nov 21, 2019 to Feb 24, 2020
    • HNW RAUM · $602M to $735M
      Nov 21, 2019 to Feb 24, 2020
    • Individual RAUM · $59.2M to $56.3M
      Nov 21, 2019 to Feb 24, 2020
    • Non-discretionary RAUM · $64.1M to $68.8M
      Nov 21, 2019 to Feb 24, 2020
    • Pension RAUM · $45.2M to $52.0M
      Nov 21, 2019 to Feb 24, 2020
    • RAUM · $727M to $848M
      Nov 21, 2019 to Feb 24, 2020
    • Accounts · 1,515 to 1,580
      Oct 18, 2018 to Mar 8, 2019
    • Advisory employees · 6 to 5
      Oct 18, 2018 to Mar 8, 2019
    • Charity clients · 34 to 41
      Oct 18, 2018 to Mar 8, 2019
    • HNW clients · 312 to 178
      Oct 18, 2018 to Mar 8, 2019
    • Individual clients · 21 to 106
      Oct 18, 2018 to Mar 8, 2019
    • Pension plan clients · 32 to 43
      Oct 18, 2018 to Mar 8, 2019
    • Employees · 6 to 5
      Oct 18, 2018 to Mar 8, 2019
    • Insurance-licensed employees · 6 to 5
      Oct 18, 2018 to Mar 8, 2019
    • State-registered IARs · 6 to 5
      Oct 18, 2018 to Mar 8, 2019
    • Discretionary RAUM · $635M to $663M
      Oct 18, 2018 to Mar 8, 2019
    • HNW RAUM · $630M to $602M
      Oct 18, 2018 to Mar 8, 2019
    • Individual RAUM · $30.1M to $59.2M
      Oct 18, 2018 to Mar 8, 2019
    • Non-discretionary RAUM · $70.7M to $64.1M
      Oct 18, 2018 to Mar 8, 2019
    • Pension RAUM · $41.0M to $45.2M
      Oct 18, 2018 to Mar 8, 2019
    • RAUM · $705M to $727M
      Oct 18, 2018 to Mar 8, 2019
    • Assets in custody · 3889277.0 to unset
      Jul 17, 2018 to Aug 31, 2018
    • Custody of client assets · true to false
      Jul 17, 2018 to Aug 31, 2018
    • HNW clients · 278 to 312
      Mar 21, 2018 to May 25, 2018
    • Pooled vehicle clients · 34 to 0
      Mar 21, 2018 to May 25, 2018
    • HNW RAUM · $566M to $630M
      Mar 21, 2018 to May 25, 2018
    • Pooled vehicle RAUM · $64.0M to $0
      Mar 21, 2018 to May 25, 2018
    • Accounts · 1,264 to 1,515
      Jan 4, 2018 to Mar 21, 2018
    • Charity clients · unset to 34.0
      Jan 4, 2018 to Mar 21, 2018
    • Corporate clients · unset to 0.0
      Jan 4, 2018 to Mar 21, 2018
    • HNW clients · unset to 278.0
      Jan 4, 2018 to Mar 21, 2018
    Signals
    1 dated events
    • T•• I•••••• G••••• I••• reported RAUM $705.5M, up 25% from $562.9M (2018-01-04 to 2018-03-21)
      Mar 21, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026